RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
L••• H•••••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · North Andover, Ma
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDAug 26, 2013 to Jul 13, 2018 · Framingham, Ma
- M••••••• I••••••••• M••••••••• ••• L•• asset managerFeb 18, 2011 to Oct 8, 2013 · Boston, Ma
- E•••••••• A•••••••• L•• national BDJul 29, 2010 to Feb 16, 2011 · Wellesley, Ma
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- M••••••• I••••••••• M••••••••• ••• L•• to S•••••••• A••••••• L••left Oct 8, 2013, registered Aug 26, 2013 (-43 days) · Other
- E•••••••• A•••••••• L•• to M••••••• I••••••••• M••••••••• ••• L••left Feb 16, 2011, registered Feb 18, 2011 (2 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address